10NCEE Tenth U.S. National Conference on Earthquake Engineering Frontiers of Earthquake Engineering July 21-25, 2014 Anchorage, Alaska STATION CHALLENGES ON SEISMIC QUALIFICATION OF STRUCTURES, SYSTEMS AND COMPONENTS IN CANADIAN NUCLEAR POWER PLANTS A. Dar1, D. Konstantinidis2, W. W. El-Dakhakhni3 ABSTRACT The Fukushima Daiichi accident during the 2011 Tohoku, Japan, earthquake and tsunami prompted the world nuclear industry, to focus on the assessment of Beyond Design Basis (BDB) vulnerabilities of Nuclear Power Plants (NPPs). All the NPPs in Canada are situated on the east coast whereas the Canadian standards recommend a generic Design Basis Earthquake (DBE) response spectrum based on west coast (California) records having entirely different frequency content from the credible east coast events. Over the frequency range of interest, the spectral accelerations of the DBE of a typical existing east coast Canadian NPP are found to be higher than those of the prescribed BDB event based on the east coast records. The concept of risk based design is not addressed in the Canadian standards. Neglect of issues such as seismic interaction at the design stage brings down not only the BDB capacity but also the design capacity adversely affecting the seismic risk. Answers to some of these challenges are found to be scattered all across the literature but not captured in one place by any design guide, regulation or standard. Various reports from different agencies, seismic margin studies and the regulatory requirements in the post-Fukushima environment have many commonalities and differences resulting in duplication of work related to the BDB seismic assessment of a nuclear generating station in Canada. This paper is an attempt to suggest a path forward through complexities, overlaps and gaps in the process of seismic qualification including BDB assessment of the east coast Canadian NPPs and to recommend resolutions in this regard with the examples of two plants located at the Bruce Nuclear Generating Station site in Canada. 1 Tecnhical Advisor, Engineering, Bruce Power, 177 Tie Road, Tiverton, ON, N0G 2T0, Canada Assistant Professor, Dept. of Civil Engineering, McMaster University, Hamilton, ON, L8S 4L7, Canada 3 Associate Professor, Dept. of Civil Engineering, McMaster University, Hamilton ON, L8S 4L7, Canada 2 Dar A, Konstantinidis D, El-Dakhakhni WW. Station challenges on seismic qualification of structures, systems and components in Canadian nuclear power plants. Proceedings of the 10th National Conference in Earthquake Engineering, Earthquake Engineering Research Institute, Anchorage, AK, 2014. 10NCEE Tenth U.S. National Conference on Earthquake Engineering Frontiers of Earthquake Engineering July 21-25, 2014 Anchorage, Alaska Station Challenges on Seismic Qualification of Structures, Systems and Components in Canadian Nuclear Power Plants A. Dar1, D. Konstantinidis2, W. W. El-Dakhakhni3 ABSTRACT The Fukushima Daiichi accident during the 2011 Tohoku, Japan, earthquake and tsunami prompted the world nuclear industry, to focus on the assessment of Beyond Design Basis (BDB) vulnerabilities of Nuclear Power Plants (NPPs). All the NPPs in Canada are situated on the east coast whereas the Canadian standards recommend a generic Design Basis Earthquake (DBE) response spectrum based on west coast (California) records having entirely different frequency content from the credible east coast events. Over the frequency range of interest, the spectral accelerations of the DBE of a typical existing east coast Canadian NPP are found to be higher than those of the prescribed BDB event based on the east coast records. The concept of risk based design is not addressed in the Canadian standards. Neglect of issues such as seismic interaction at the design stage brings down not only the BDB capacity but also the design capacity adversely affecting the seismic risk. Answers to some of these challenges are found to be scattered all across the literature but not captured in one place by any design guide, regulation or standard. Various reports from different agencies, seismic margin studies and the regulatory requirements in the post-Fukushima environment have many commonalities and differences resulting in duplication of work related to the BDB seismic assessment of a nuclear generating station in Canada. This paper is an attempt to suggest a path forward through complexities, overlaps and gaps in the process of seismic qualification including BDB assessment of the east coast Canadian NPPs and to recommend resolutions in this regard with the examples of two plants located at the Bruce Nuclear Generating Station site in Canada. Introduction All NPPs in Canada are located on the east coast of the North American continent, including the Bruce site at Tiverton, Ontario, having two nuclear generating stations known as Bruce A and Bruce B. Out of the two, Bruce A was constructed first, more than three decades ago, without a DBE but with some of the containment structures designed for the lateral seismic load derived as a percentage of the vertical load. This was followed by the construction of the second station Bruce B, designed for a DBE, based on the Newmark, Blume and Kapoor (NBK) spectrum [1], recommended by the USNRC Regulatory Guide 1.60 [2]. The seismic capacity of Bruce A was later on assessed in the early 2000s in accordance with the Seismic Margin Assessment (SMA) 1 Tecnhical Advisor, Engineering, Bruce Power, 177 Tie Road, Tiverton, ON, N0G 2T0, Canada Assistant Professor, Dept. of Civil Engineering, McMaster University, Hamilton, ON, L8S 4L7, Canada 3 Associate Professor, Department of Civil Engineering, McMaster University, Hamilton, ON, L8S 4L7, Canada 2 Dar A, Konstantinidis D, El-Dakhakhni WW. Station challenges on seismic qualification of structures, systems and components in Canadian nuclear power plants. Proceedings of the 10th National Conference in Earthquake Engineering, Earthquake Engineering Research Institute, Anchorage, AK, 2014. methodology outlined in [3] for the Review Level Earthquake (RLE) based on the latest research [4]. The frequency contents of the DBE and the RLE are drastically different since the former is based on west coast records and the latter is derived from east coast records [5]. A detailed discussion on the history of seismic design at Bruce site can be found in [5]. Some of the NPPs in Canada have also undergone Seismic Probabilistic Risk Assessment (SPRA) leading to High Confidence Low Probability of Failure (HCLPF) seismic capacity expressed in terms of Peak Ground Acceleration (PGA). The seismic event at the Japanese NPP at Fukushima Daiichi in 2011 triggered the process of BDB evaluations of NPPs in Canada. By this time the Canadian regulation S-294 [6] was in force and the work on the SPRAs of the Canadian NPPs had already begun or was at an advanced stage. The new regulatory requirements in the post Fukushima environment focused on the issues not addressed before, such as the evaluation of fuel bays, employment of emergency mitigating equipment etc. The focus of the Fukushima upgrades was to assess and mitigate the BDB vulnerability of a Canadian NPP, thus highlighting the requirement of establishing the seismic margin of such plants over and above their design basis. The plants without a DBE, but evaluated for the RLE by the SMA methodology about a decade ago, scored better in this regard since their seismic capacities were known, whereas the capacities (and hence the BDB seismic margins) of the DBE based plants remained unknown. This gave rise to a debate on the requirement of SMA of a DBE based NPP despite having SPRA. However, the credible event response spectrum considered by the SPRA process is based on the east coast records having much lesser spectrum accelerations than those of the DBE of a typical east coast Canadian NPP over the frequency range of interest which is typically between 1 to 10 Hz. Questions on how to deal with a NPP with the DBE response spectrum richer than the credible event spectrum have been answered in the EPRI report 1025287 [7]. Nevertheless, many other questions such as how to establish the design basis of new emergency mitigating equipment or of new systems and components required by the Fukushima upgrades remain unanswered. This paper establishes a road map through various design guides, applicable standards, seismic qualification methods and regulatory requirements to meet the station challenges related to the seismic qualification of structures, systems and components of Canadian NPPs in the post Fukushima environment. Review of Design Basis and Seismic Margin In order to understand the seismic qualification process ranging from the design basis qualification to the BDB evaluation, two nuclear generating stations are considered here as examples: Bruce A and Bruce B at Tiverton, Ontario, Canada. These examples are similar to the other stations in Ontario explained in detail in [8]. The frequency content difference between the spectra of the DBE and the east coast credible event is quite similar to the example given in the EPRI report 1025287 [7]. The challenges posed by the frequency contents of the above spectra at Bruce stations are not very far from the realities of the other east coast plants in North America subject to high frequency hazards. DBE Spectrum and ENA Spectrum Figure 1 shows two response spectra anchored at 0.05g PGA representing the DBE of Bruce B based on USNRC Regulatory Guide 1.60 [2] and the generic DBE recommended by the Canadian Standard CSA N289.3 [9]. Both the spectra are based on California records and are considered equivalent here, because of their strong similarity. Also shown is the east coast spectrum recommended in [4], popularly known as the East North American (ENA) spectrum. It is evident from Fig. 1 that the DBE is conservative over the low frequency range, typically from 1 to 10 Hz whereas it is deficient beyond 10 Hz in comparison with the ENA spectrum. However since the frequency range of interest at Bruce site lies within the range of 1 to 10 Hz [5], the DBE is considered to be stronger than the credible event represented by the ENA spectrum. High frequency content is not captured in the DBE and the CSA spectra, considered important only for the components susceptible to high frequency vibrations [7]. The Canadian standards CSA N289.3 [9] and CSA N289.1 [10] recommend the DBE to be represented by a mean Uniform Hazard Response Spectrum (UHRS) with 1x10-4 probability of exceedance per annum with the exception of the fact that for some of the existing plants the probability of exceedance of 1x10-3 per annum has been accepted by the regulator. Acceleration (g) 1 0.1 0.01 DBE (BB) at 0.05g ENA at 0.05g 0.001 CSA at 0.05g 0.0001 0.01 0.1 1 10 100 Frequency (Hz) Figure 1. Comparison of DBE [5], CSA [9] and ENA [4] horizontal response spectra, anchored at 0.05g with 5% damping. Acceleration (g) 1 0.1 DBE (BB) at 0.05g 0.01 RLE (BA) at 0.15g ENA at 0.15g 0.001 0.1 1 10 100 Frequency (Hz) Figure 2. Comparison of horizontal response spectra DBE [5] anchored at 0.05g PGA with RLE [5] and ENA [4], anchored at 0.15g PGA with 5% damping. Review Level Earthquake (RLE) and Seismic Margin The SMA methodology outlined in NP-6041 [3] establishes a success path in order to bring a reactor to and maintain its safe shutdown state during and after a prescribed seismic event known as RLE, represented by an 84 percentile 1x10-4 UHRS, having 0.15g PGA for Bruce A. Various structures, systems and components essential to maintain the success path have been evaluated and modified if necessary for the RLE at Bruce A. The PGA of RLE is required to be significantly higher than that of the DBE in order to identify the BDB vulnerabilities of a station. Figure 2 compares the DBE of Bruce B and RLE of Bruce A with the ENA spectrum. RLE and ENA are anchored at 0.15g PGA whereas the DBE is anchored at 0.05g PGA. It should be noted that despite the high PGA, the Bruce A RLE is more or less the same as the low PGA DBE up to 2.5 Hz frequency. Looking at the similarity in the dynamic characteristics of various structures at both the stations [5], it can be concluded on the basis of the ratio of the PGAs of RLE and DBE, that the seismic margin of Bruce A is 3 times the design basis of Bruce B. Canadian Standards [9, 10] define the beyond design basis event as Checking Level Earthquake (CLE) with mean values having probability of exceedance as 1x10-5 or 1x10-4 per annum for new plants. CLE and RLE can be considered practically equivalent to each other since the earthquake records do not have symmetrical distribution and the mean values fall between 70th and 90th percentile for the distribution of Canadian earthquakes [11]. Table 1. Applicability of various seismic hazards on the same site Acronym Seismic Event Design/Evaluation stresses for mechanical systems DBE Design Basis Earthquake SDE Applicability PGA ASME service level C Bruce B 0.05g Site Design Earthquake (1/2 of DBE) ASME service level B Bruce B 0.025g RLE Review Level Earthquake ASME service level D Bruce A 0.15g SSE Safe Shut Down Earthquake ASME service level D Testing* NA+ OBE Operating Basis Earthquake ASME service level B Testing* NA+ NBCC National Building Code of Canada Non-nuclear structures NA+ GMRS NA+ Ground Motion ASME service level D Fukushima Response Spectrum evaluations *Reported in the seismic test reports from the United States of America. + Not applicable NA+ Station Challenges on Design Basis and Beyond Design Basis Seismic Events For the two stations at the same site, many seismic events are applicable depending on the requirement. Table 1 lists the types of seismic events along with their applicability in different circumstances. While the DBE, RLE, SDE are all related to the Canadian environment, a seismic engineer has to be aware of the hazards considered in US, such as SSE and OBE, which are the basis of testing of various components imported from across the border. Design Basis More Conservative than the Beyond Design Basis (BDB) Event While considering a BDB event, a general assumption prevails that it would be more conservative than the design basis. However, for the east coast plants, it is not true. The SPRA study [12] calculates the seismic responses of Bruce B structures based on the mean 1x10-4 UHRS established by considering the data for 1x10-4 and 1x10-5 hazards [13]. USNRC guide 1.208 [14] recommends establishing a Ground Motion Response Spectra (GMRS) utilized by EPRI report 1025287 [7] for Fukushima evaluations. Figure 3 shows the comparison between GMRS, Bruce B DBE and the new mean 1x10-4 UHRS utilized in SPRA study. 0.3 1x10-4 UHRS (East Coast) GMRS 0.25 DBE (West Coast) Adjusted DBE = 1.33*DBE Acceleration (g) 0.2 0.15 0.1 0.05 0 0.1 1 Frequency (Hz) 10 100 Figure 3. Horizontal response spectra representing DBE [5] with mean 1x10-4 UHRS [12], GMRS [14] and adjusted DBE (to incorporate SSE) at 5% damping. EPRI report 1025287 [7] focuses on the frequency range from 1 to 10 Hz and recommends that if the Safe Shut Down Earthquake (SSE) or HCLPF spectrum is higher than the GMRS between 1 to 10 Hz, no further evaluation is necessary except for the high frequency susceptible components. SSE is applicable to the US plants subject to the ASME service level D [15] allowable stresses for mechanical components (reactor, piping, valves etc.) whereas the Canadian plants subject to the DBE are designed for ASME service level C stresses [15]. Approximate ratio between the two service level stresses (D and C) is 1.33. Hence in order to obtain a true comparison for the mechanical components, the DBE of Bruce B is scaled up by 1.33 addressed as adjusted DBE in Fig. 3. This adjusted DBE is found to be higher than the GMRS up to 8 Hz frequency, closed to the applicable frequency range, implying that the HCLPF capacities of such components would even be higher. Hence it can be concluded by inspection that on the basis of hazard comparison for Bruce B, only high frequency susceptible components need be evaluated for Fukushima evaluation. Since the GMRS corresponds to the lower probability of exceedance than the DBE, it is considered here as a BDB spectrum. The question arises from the above that are we really comparing the design with a BDB event or a credible event? Figure 3 demonstrates that the design basis is found to be higher than the GMRS over the frequency range of interest and hence the term BDB is not truly reflective of its meaning. The DBEs of the Canadian east coast plants are conservative over the prescribed frequency range and it would be over conservative to establish a hazard above the design basis of the east coast plants. Hence it can be concluded that for the east coast plants, the term Beyond Credible event Basis (BCB) should be incorporated rather than the term BDB to describe the capacity above design basis. GMRS and RLE Figure 4 shows comparison between the GMRS with the RLE of Bruce A along with the mean 1x10-4 and 1x10-5 hazards [13]. It is evident from Fig. 4 that the RLE of Bruce A is above the GMRS on the entire range of frequencies leading to the conclusion that the seismic capacity of Bruce A station is well beyond the Fukushima evaluation requirements. 0.7 1x10-4 1x10-5 GMRS RLE 0.6 Aceleration (g) 0.5 0.4 0.3 0.2 0.1 0 0.1 1 Frequency (Hz) 10 100 Figure 4. Horizontal response spectra representing RLE [5] with mean 1x10-4 and mean 1x10-5 UHRS [13] and GMRS [14] at 5% damping. Beyond Design Basis Evaluation and Canadian Standards CSA standards [9, 10] consider the CLE as either mean 1x10-5 or mean 1x10-4 hazard utilized for the beyond design basis evaluation of new plants. For the seismic margin assessment of Canadian plants, 1x10-4 is the accepted probability of exceedance [8]. Clause 8 of CSA N289.3 [9] mandates evaluation of a NPP subject to the CLE in order to establish its BDB capacity. According to Fig 3, the mean 1x10-4 UHRS (or CLE per above discussion) is well below the DBE and hence according to the Canadian standards the BDB event’s spectral accelerations are much lower than those of the DBE over the prescribed frequency range. Clarification of the phrase “beyond design basis” in Canadian standards is warranted in this regard for the evaluation of systems and components in an existing east coast plant. Vertical Spectra and Their Adverse Impact on the Seismic Risk The Canadian standards recommend the vertical response spectral accelerations to be two third of the horizontal acceleration of the generic DBE spectrum at the corresponding frequencies with the exception of the site specific hazard without any further guidance. The USNRC guide 1.208 [14] does not recommend any constant multiplication factor but recommends an entirely different procedure to derive it from the horizontal response spectrum for a typical east coast hazard. In a DBE based environment, the designers of a new system in an existing plant end up designing for much lesser vertical acceleration than what is required for the new hazard having adverse impact on the seismic risk. Station Challenges on Evaluation of Systems and Components After establishing the evaluation hazard, a typical SPRA study goes on further to establish fragilities of the SSCs leading to the plant fragility and to the seismic risk. There are various issues in this regard that lead to un-necessarily high seismic risk. Seismic Interaction – Assessed Plants Score Better than the Designed Plants A seismically qualified component is not allowed to have any other system or component (such as a suspended light or an unreinforced concrete block wall) that can interact with it in case of a seismic event. This aspect is very well dealt with in NP-6041 [3] for seismic margin assessment but completely missed by the design codes. Hence the plants that did not have the DBE but were assessed for the RLE score much better than the designed plants on this account. Seismic interaction is warranted to be mandated by the Canadian standards at the design stage in order to reduce the seismic risk. For the new plants it is covered by the clause 8 of CSA N289.3 [9] but clarity is required in case of new components in an existing plant. Vertical Amplification For a typical east coast hazard, the amplification of vertical component of the ground response spectrum is found to be much more than the horizontal because the vertical frequencies of the buildings are found to be above 20Hz in general. The high frequency susceptible components attached to a shear wall would contribute much more to the seismic risk than the ones anchored to a long beam. Canadian standards are warranted to include remedies to such situations in this regard. Risk Based Design and S-294 The regulation S-294 [6] mandates the assessment of seismic risk of Canadian NPPs at regular intervals. The design standards such as N285.0 [16] do not mandate the incorporation of risk at the design stage resulting in varying seismic risk of different components. This adversely affects the BDB capacity of newly designed components. One of the ways of incorporating risk in the design of a component can be to evaluate it (in addition to the design for the applicable standard) for the RLE with Conservative Deterministic Failure Margin Method (CDFM) in accordance with NP-6041 [3]. This is incorporated in the clause 8 of CSA N289.3 [9] for the new plants. However, the same should be applicable to the new systems and/or components in the existing plants in order to mitigate the seismic risk. The details regarding the process of SMA and CDFM method can be found in [17]. Emergency Mitigating Equipment / Systems Incorporation of emergency mitigating equipment or systems such as fire trucks, additional water pumps, piping etc. is a new post-Fukushima regulatory requirement. Piping being a pressure retaining component is governed by the standard N285.0 [16]. The operating license of both the stations Bruce A and B does not incorporate the current versions of CSA N289.3 [9] and CSA N289.1 [10]. The older versions of these two standards do not recognize the CDFM method utilized by NP-6041 [3]. Since the license is restricted to the design, the components required for the BDB consideration are beyond license and hence they can be designed in accordance with the CDFM method. However since Bruce B station does not have an RLE, such components are designed for the DBE with ASME service level C stresses which is very conservative. The regulatory document R-77 [18] assigns allowable stresses with ASME service level conditions to an event in accordance its probability of occurrence. It considers an event with 1 in 10000 probability as an extremely rare event and assigns ASME service level D stress to it as the allowable stress. A BDB event has a lower probability of occurrence (typically 1x10-4) than the design basis and hence the allowable stresses can be taken from R-77 [18]. The emergency mitigating equipment or systems can be designed for the envelope of the DBE and GMRS for Bruce B station in accordance with the CDFM methodology outlined in NP6041 [3] subject to ASME service level D stresses. Conclusions It is concluded that the mitigation of the seismic risk at the design stage is not covered by the Canadian standards. Provisions regarding beyond design basis evaluation of the new plants are required to be extended to the design of new systems and components in existing plants. In this regard, for the east coast NPPs in Canada, the phrase “Beyond Design Basis” should be replaced by “Beyond Credible Event Basis” since the design basis response spectra of such plants exceed their GMRS over the general frequency range of interest. The emergency mitigating equipment or systems, if required, can be designed for the envelope of the DBE and GMRS for the DBE based plants by the CDFM method. It is not necessary to carry out the SMA of a DBE based plant whose seismic capacity has been determined through the SPRA process. The seismic margin of such plants can be derived from the SPRA process. The Canadian standards do not mandate the consideration of seismic interaction at the design stage. This requires further evaluation for a plant not only for its BDB capacity but also its design capacity which is likely to be affected by seismic interaction. Revision in Canadian standards is warranted in this regard. Canadian standards are warranted to address determination of the vertical response spectrum in accordance with the USNRC Reg. Guide 1.208 [14] for the east coast events, rather than the old method of considering it as two third of the horizontal response spectrum. Amplification of the high frequency ground motion by the vertical structural elements, such as shear walls, is required to be addressed with regard to the high frequency susceptible safety components directly anchored to or supported by such elements. Acknowledgments The authors acknowledge Bruce Power, Tiverton, Ontario, Canada for providing useful resources for writing this paper. The financial support of the Natural Sciences and Engineering Research Council of Canada (NSERC) is greatly appreciated. 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